SHREEMATI NATHIBAI DAMODAR THACKERSEY

WOMENS UNIVERSITY, MUMBAI

RULES AND GUIDELINES FOR M.PHIL./PH.D.

AND NORMS FOR RECOGNITION OF M.PHIL./PH.D. GUIDES

(In force with effect from February 3, 2010)

Modified and approved by the Academic Council on Oct 15, 2012

Index
Sr. No.
R (1)

Description
Eligibility to appear for M.Phil. / Ph.D. test

R (2)

Application

R (3)

Entrance Test

R (4)

Admission

R (5)

The Ph.D. Programme

Part A: Course work
Exemption from course work

6
6
7

Part B: Research Work

Reregistration

Page No.
3

8
9

R (6)

Duration of the Course

R (7)

Cancellation of Registration

10

R (8)

Change of Guide

10

R (9)

Submission of Synopsis & Thesis, Evaluation and

Assessment

10

R (10)

Appointment of Referees

12

R (11)

Evaluation of the Thesis

Depository with UGC

12
14

R (12)

Schedule of Fees

14

Guidelines for doctoral scholars

Administrative guidelines

15
15

Departmental Research Committee (DRC)

Research and Recognition Committee (RRC)
Head of the Department (HOD)
Guide

17
17
18
19

Evaluation of Coursework

20

Preservation of Thesis

20

Declaration

21

Recognition of M.Phil. / Ph.D. Guide

22

Rules for Co-Guide System

23

Format of Ph. D. Thesis M. Phil. Dissertation

24
2

RULES FOR DOCTORAL STUDY

Persons who are interested in M.Phil. / Ph.D. programme will be required to appear
for an entrance test. Students who clear the entrance test, will be required to appear
for an interview. Selected candidates may register for the M.Phil. / Ph.D.
programme.

R (1) Eligibility to appear for M.Phil. / Ph.D. Entrance test

a. Women having Masters Degree in the subject (with 55% marks for open
category and 50% for reserved category (SC/ST) or B grade) of any statutory
university in the country or any other examination recognized by the
University as equivalent to the Masters Degree are eligible to appear for the
M.Phil. /Ph.D. Entrance Test.
b. A person with graduate qualifications in Engineering/Medicine (MBBS, BDS
and Physiotherapy) who has developed important new techniques/ products/
special instruments/apparatus, which are deemed to be a valuable
contribution to her field, may be recommended by the appropriate Board of
Studies and may be allowed to appear for the written test.
c. Fellow members of the Institute of Chartered Accountants/ Institute of Cost
and Work Accountants can apply for Ph.D. in a subject under the Faculty of
Commerce provided they have a Bachelors degree in the subject of any
statutory University, and have at least 5 years work experience in their
respective fields.
Exemption from appearing for written test for Ph.D. Degree:
1. Candidates who have cleared NET/SET/GATE/JRF/examination of apex bodies
such as CSIR/ICMR/ICAR/UGC/DBT are exempted from appearing or the
written examination but will be required to appear for personal interview at
the respective departments.
2. M.Phil. Degree completed from S.N.D.T. Womens University/other statutory
University.
The above mentioned rules will also be applicable to the foreign candidates
who have obtained a Masters degree from the statutory Indian Universities.
For Foreign students who have not obtained their Masters degree from an
Indian University, minimum percentage should be 55% or the equivalent
GPA.
The University will advertise the date of M.Phil./Ph.D. Entrance Test along with
availability of seats in each Subject and Department.

R (2) Application
a) Application form for the Entrance test will be available on payment of Rs 500/(SC/ST Rs. 350/-) at the Accounts Section of SNDT Womens University between
10.30 a.m. and 1.00 p.m. from Monday to Friday except public holidays.
Application forms can also be downloaded from University website:
http://www.sndt.ac.in/downloads.htm and applicants will be required to pay Rs.
500/- (SC/ST Rs. 350/-) at the time of submission of the form, to the Accounts
section. Payment should be made in the form of a demand draft in favour of
Registrar, S.N.D.T. Womens University, payable at Mumbai.
b) Application forms should be complete in all respects and should be submitted to
the office of the Director, Board of College and University Development (BCUD)
as declared in the advertisement.
c) The following documents should be submitted with the application form.
Two Attested copies of
1. The Mark sheet of Post Graduate Examination or the mark sheet of the
highest qualification acquired.
2. Passing Certificate / Degree Certificate of Post Graduate examination
3. Marriage Certificate (in case of name change).
4. Caste Certificate (except for Open Category).
5. Medical Certificate given by a Competent Authority in case of blind/visually
or physically challenged candidates.
Only those candidates who meet the eligibility criteria fully will be permitted to
appear for the entrance test.
Important note:

i) Downloaded mark sheets will not be accepted.

ii) Students whose result is awaited are not eligible.

R (3) Entrance Test

Candidates will be required to appear for an Entrance Test. The Entrance test will
consist of 2 papers: (i) Research Aptitude Test (100 marks) and (ii) Subject Specific
Test (100 marks). The results of the Entrance Test will be displayed in all the
Campuses of the University and also on the University website. Those who clear the
test (with minimum of 50% marks separately in the Research Aptitude Test and
Subject Specific Test for open category and 45% for reserved category) will be
invited for interview.
Research Aptitude test
The research aptitude test will include:
- Reasoning ability
- Analytical ability
- Critical thinking
- Language comprehension
- Elementary mathematics ability
- Perseverance

(15%
(15%
(20%
(25%
(20%
(5%

weightage)
weightage)
weightage)
weightage)
weightage)
weightage)
4

The Test will be prepared by an Inter-Disciplinary Expert Committee Consisting of

Experts from all faculties.
Subject Specific test
The Subject Specific Test will include:
- Objective questions
(30 marks)
- Short answer questions [approx 250 words per answer] (30 marks)
- Long answer questions
(40 marks)
The subject test will be prepared by the department. Each test will be of 3 hours of
duration and will be held on one day only. The date of the test will be announced by
the University. The test will be held at Mumbai and Pune in June and December and
admissions will be given in January and July.
Interview:
Students are expected to make presentation in their area of interest before an
Interview committee. Students will be assessed on following criteria:

Conceptual understanding of the area of interest : 20 marks

Awareness of research in the area of interest
: 20 marks
Communication skills
: 10 marks

Passing criteria: 50% for open and 45% for reserved category.
Interview will be conducted by an Interview Committee constituted by the Head of
the concerned University Department consisting of:
(i)
Head of the Department
(ii)
One senior faculty member who is a Ph.D. guide and
(iii)
Preferably one External Expert.
Validity of result: For 3 years
Ph. D. candidates are required to remain present for the written test and the
interview. Those who remain absent for interview, will have to appear for written test
again.

R (4) Admission
Candidates will be shortlisted on the basis of merit and admission will be granted as
per availability of seats in the specific subjects. While granting admission to students
to M.Phil. / Ph.D. programmes, the Department / Institute should follow the National
/ State Reservation Policy.
Allocation of Supervisor / Guide
The allocation of the Supervisor/Guide for a selected scholar shall be decided by the
Departmental Committee (consisting of the Head and the guides in the department)
within one week of the interview, depending on the number of Scholars per faculty
member, the available specialization among the faculty supervisors /guides and the
research interest of the scholar, as indicated during the interview by the scholar. The
5

allotment / allocation of Supervisor / Guide shall not be left to the individual scholar
or teacher.

R (5) The Ph.D. Programme

The Ph.D. programme will be offered only at the University departments/Institutes
and Recognized Institutions. M.Phil/Ph.D. programme will not be conducted
through the Distance Education mode.
The Ph.D. programme shall consist of a combination of course work (Part A) and
research work (Part B).
Part A: Course work (1 year/two semesters)
After having been admitted, each M.Phil. / Ph.D. scholar shall be required to
undertake course work for a period of two semesters (in the 1st year). The course
work shall be treated as Pre-M.Phil. /Ph.D. preparation. The scholar will be allowed a
maximum of 2 attempts (to be cleared within the first year after admission to the
M.Phil. / Ph.D. programme). The syllabus for the course work will be framed by the
concerned Board of Studies.
a) The course work will be of 12 credits and will include:
(i)

Research Methodology (4 credits/100 marks). This may include

quantitative, qualitative methods of research, use of use of information and
communication technology in research, wherever applicable. The scholar will be
required to appear for a written test.
This Written test will be conducted by the University Department at the end of
the first and second semester. The Departments will make syllabi available to
the scholars. It will arrange for guidance sessions. The scholars may attend
guidance sessions for research methodology organized by sister departments /
institutes either within or outside the University. Attendance of guidance
sessions is not compulsory.
The date of the written test will be communicated to the scholars well in
advance. The answer paper may be shown to the scholars on demand. The
result of the test will be communicated to the scholars within 30 days.

Marks will be allotted as follows:

Written test
Preparation of research proposal
Presentation of research proposal
Assignment on methodological review of a large
project/ book on research methodology
(ii)

30
30
20
20

marks
marks
marks
marks

Two courses (4 credits /100 marks each). These courses will be subjectspecific. The course work will be done on the basis of guided reading supervised
by the guide. For evaluation purposes the scholar should prepare review of
6

literature and carry out assignments given by the guide (book review, content
analysis, action research, need assessment survey etc.)
The papers/assignments may be written in English, Marathi, Gujarati or Hindi
provided both the guide and co-guide if any, are conversant with the chosen
medium.
The purpose of course work is to broaden the scholars understanding of the
subject. Scholars should submit these assignments to the guide. The
assignments/papers should be evaluated by the guide. The mark sheet will be
prepared by the respective Departments.
Marks allotment
Course II
Review of literature
Presentation
Assignment

40 marks
30 marks
30 marks

Course III
Concept note based on the content of the research
Presentation
Report of 2 books related to research topic/report of visit/
interviews / seminar attended (1000-1500 words)

40 marks
30 marks
30 marks

Minimum percentage for passing the examination in all these courses will be 50%.
The course work shall be completed in first two semesters (which could be extended
to a maximum of 4 semesters, failing which her registration for the Ph.D. Programme
will be cancelled. She can apply for Ph D. Entrance test again.
Exemption from course work:
Scholars who have successfully completed M. Phil. from a recognized University will
be exempted from the course work on Research Methodology.
Scholars who do not complete Ph.D. within the required time period and therefore
reregister for Ph.D. within a period of three years of expiry of terms, will be
exempted from coursework, provided the course work was completed previously
satisfactorily.
For scholars who are interested in doing Ph.D. in a subject (that allows for
interdisciplinary work), that is not their subject of specialization at the Masters
and/or M. Phil. level, will be required to successfully complete Bridge Course (of 8
credits) in the chosen field as prescribed by BOS in addition to the above course
work. Internal examination of Bridge course will be conducted by the Department for
such scholars.

Part B: Research Work

The scholar shall carry out research using acceptable research methods in the field
under the supervision of approved guide(s).
A work which has already been considered for a Degree/Diploma by this or any other
University/Institution shall not be considered for the conferment of Ph.D. degree by
this University.
The thesis may be written in English, Marathi, Gujarati or Hindi provided the guide
and/or co-guide is conversant with the chosen medium.
After completing the course work (all 3 courses) the scholar will prepare a research
proposal under the guidance of the assigned guide. The scholar will submit 5 copies
of the proposal to the Head of University Department/ Institute through the guide. If
the proposal is in a language other than English, the scholar should submit two
additional copies in English.
a) The Head of University Department shall call for a meeting of the Department
Research Committee (DRC) within 30 days of receipt of the proposal.
b) The Departmental Research Committee (DRC) shall scrutinize the research
proposal and interview the scholar to determine the feasibility of the research
proposal.
c) Each candidate shall be required to make a presentation of her proposal to
the DRC.
d) The DRC shall approve, suggest modification(s) or reject the proposal. If a
proposal is rejected, the candidate may resubmit a fresh proposal within three
months. The DRC may recommend, if necessary a Co-guide to the candidate.
The guide or the co-guide shall not be a collateral relation of the candidate.
e) If the DRC approves the proposal, the same will be forwarded to the Research
and Recognition Committee (RRC).
HOD (HOD) should forward 5 copies of the proposal approved by DRC to the
Director, BCUD to be placed before RRC.
f)

The RRC shall approve, suggest modification(s) or reject the proposal. If a

proposal is rejected the scholar may submit a fresh proposal within six
months of intimation from the University.

g) If the RRC approves the proposal, Director, BCUD will issue letter of approval
of the title (within 30 days) with a copy to the concerned Guide, HOD, and
Controller of Examinations.
h) Terms of six months each, shall commence from January or July immediately
on registration. Terms will be from January to June and July to December.
i)

Scholars from other Universities shall be required to submit a migration

certificate to the concerned Department within one year of enrolment. They
8

will also have to pay the eligibility fee as prescribed by the University at the
time of their registration.
The concerned Department will forward the migration certificate to the
Controller of Examinations.
A scholar may revise her research proposal/modify the title by the end of second
year of registration. The proposal / title if revised shall be presented to the DRC and
subsequently to RRC for approval. The number of academic terms for Ph.D.
programme will remain unchanged in such cases.
Re-registration:

Re-registration may be allowed only once with or without break.

Scholars who re-register with a break of 3 years or more will be required to
do the prescribed coursework.

R (6) Duration of the Course

a) The Ph.D. course shall be of five years duration (i.e. 10 terms) with a
minimum of three years (i.e. 6 terms) programme. For extension after 6
terms upto 10th term, the scholar should apply to the HOD through the
Guide.
b) The scholar shall be required to complete the course work and the research
work within this period. During this period, each scholar shall be required to
submit a progress report (certified by the guide) to the HOD, every six
months. (Pl see enclosed proforma for progress report)
c) H.O.D. will consolidate and forward the Annual Progress Reports of all the
scholars in the month of July every year to the Director, BCUD.
d) HOD should intimate to the Director, BCUD every year in the month of July
about cancellation of registration, if any.
e) If a candidate is unable to complete the Ph. D. work within the five year
period, she shall be required to apply for extension of duration for one year
i.e. 2 terms (6th year) one term at a time with the recommendation of the
Guide to the HOD at least two months before the expiry of the prescribed
period of study on the prescribed form (Format enclosed). Extensions up to
2 additional terms (sixth year) may be granted by the RRC on
recommendation of the guide and the HOD. Extension will be granted for one
additional term at a time.
f)

Scholars who are unable to complete their Ph.D. within six years may apply
for final extension on the prescribed form and recommended by Guide to
HOD for another year (7th year) one term at a time. The HOD will forward
the same to the Director BCUD for placing it before the RRC. The RRC should
forward it to Vice Chancellor with or without recommendation for extension
of 13th and 14th term.

g) After the 10th semester the scholar will be required to pay a fee equivalent to
the 10th semester.
9

h) The scholar ceases to be a Ph.D. scolar, if she is not granted approval for
extension by the RRC/VC or is unable to submit the Ph.D. thesis within the
specified time period of six/seven years.

R (7) Cancellation of Registration

The HOD will forward the case of a scholar for cancellation of registration to RRC
through the Director, BCUD.
a. If the scholar fails to clear written test (of Research methodology course) in
two attempts.
b. If the scholar fails to complete course work of all 3 courses within 4
semesters
c. If the scholar fails to submit progress reports for two consecutive terms.
d. If two consecutive progress reports are not satisfactory.
The Director, BCUD will notify about the cancellation of registration to the
concerned scholar along with copy to the concerned authorities.
In such cases the scholar may apply for re-registration if she so desires. She will
be treated as a fresh Ph.D. applicant and will be required to appear for the
entrance test.

R (8) Change of Guide

If a scholar desires a change of guide, she should submit her application with
reasons given in writing, through the HOD along with NOC from the Guide to
the Director, BCUD.

HOD will forward the application to Director, BCUD to be placed before RRC.
The new guide will be assigned by the RRC.

In the event of NOC not being available from the Guide within two months of
application from the scholar, the decision of RRC shall be final.

In cases such as Guides unwillingness/inability to continue with the guidance,

above mentioned procedure shall be followed.

R (9) Submission of Synopsis & Thesis, Evaluation and Assessment

a)

Prior to submission of the thesis for adjudication, the scholar will publish
one research paper based on her research in a refereed journal, and
produce evidence for the same in the form of acceptance letter or the
reprint.
Procedure for submission of synopsis: The scholar must present the
synopsis before the DRC. If the DRC approves then only the synopsis should
be sent to Director, BCUD to be placed before RRC.

10

b)

Synopsis of the thesis (3 copies for Examination Department, 5 for Director,

BCUD for RRC and a soft copy to Department, COE and Director, BCUD)
shall be submitted by the scholar, approximately six months before
submitting the thesis, to the Controller of Examinations. The synopsis
should be submitted through the HOD with her guides recommendation. It
should be accompanied by the Examination form, fees, certificate of
completion of course work/exemption. The examination form will be
available at the cash counter of the University office at Pariksha Bhavan,
Juhu or on the university website. HOD will forward 3 copies of synopsis to
the COE and 5 to Director, BCUD.
If the thesis is to be written in a language other than English, five copies of
the synopsis should be submitted in English to the Director, BCUD, in
addition to the 8 copies submitted to the Examination Department and
BCUD (total copies 8 in vernacular + 5 in English).

Note:
At the time of submission of the synopsis, the scholars must also produce
all original fee receipts with a photocopy of each to the concerned
Department. The Department will verify the payment of fees and a set of
photocopies of fee receipts shall be retained by the Department. The HOD
will certify payment of fees.
c)

After submission of the synopsis, the same will be placed in the concerned
RRC for recommending the panel of referees for evaluation of the thesis.
The panel of referees recommended by the RRC shall be forwarded by the
Director, BCUD to the Board of Examinations (BOE). The thesis shall be
evaluated by two referees, out of which one shall be from outside the State
and the other from Maharashtra.

d)

The BOE will approve the panel of referees in its ensuing meeting after
receiving the panel from the Director, BCUD.

e)

The Examination Department will send the synopsis to the referees within
one month after approval of Referees by the BOE for their consent to
evaluate the thesis.

f)

The thesis will be sent to the referees immediately upon their acceptance
and as soon as the thesis is submitted to the Examination Department by
the scholar.

Thesis:
a.

The M.Phil. / Ph. D. scholar will produce a draft thesis within the stipulated
time period.

b.

Prior to submission of the thesis, the scholar shall make a pre- M.Phil. / Ph. D.
presentation in the Department that may be open to all faculty members and
research scholars, for getting feedback and comments, which may be suitably
incorporated into the draft thesis under the advice of the supervisor/guide.

11

c.

In addition, scholar should include in the appendix of the thesis, the

acceptance letter for publication of research paper or the first page of the
reprint of the published paper.

d.

The thesis shall be typed with 1.5 line spacing, font size 12 for all approved
vernacular languages in Unicode and in Times New Roman for English. The
thesis should be typed on one side of the paper.

e.

Three hard copies and a soft copy (in pdf format) of the thesis shall be
submitted to the Examination Department (duly signed by the Guide) and
forwarded by the HOD (within a period of six months of submission of the
synopsis) or until the registration is valid (whichever is later) not before
three months from the time of submission of the synopsis. However the
rules regarding the extension of the term and the payment of penalty will be
applicable even after the submission of the synopsis.

f.

The declaration duly signed by both the guide and the scholar must appear in
the thesis after the title page. (Format enclosed).

R. (10) Appointment of Referees

Letters appointing referees along with the synopsis shall be sent by the
Controller of Examinations. The referee is expected to accept examinership
within 30 days failing which the next referee on the panel will be appointed.
Referee shall be requested to evaluate the thesis within 60 days of receiving
it. The referees shall also be requested to re-examine the thesis if he/ she
recommends a revision. In such cases the referees shall be paid extra
remuneration as per rules.

R. (11) Evaluation of the Thesis:

a) The thesis shall be evaluated by two referees from the approved panel of
External referees, out of which one shall be from outside the State and the
other from Maharashtra.
b) On receipt of a satisfactory evaluation report from both the External referees,
the Controller of Examinations shall organize a Viva-Voce Examination at a
suitable date. Viva-Voce Examination shall be organized at Mumbai. The
thesis will be openly defended by the candidate.
c) If the evaluation reports from both the External referees are not satisfactory,
the candidate shall be considered to have failed and shall be accordingly
informed by the University.
d) If the report of one external referee is favorable and the report of the other
referee is not favorable, it shall be sent to a third external referee from the
panel. If the third referees report is favorable, the thesis will be accepted. If
the third referees report is unfavorable the thesis shall be rejected. If it is
rejected, the scholar shall be considered to have failed and will be informed
accordingly by the Department of Examinations.
12

e) Modification / Revision:
If the report given by one external referee is satisfactory and the second
referee suggests revision, the scholar will be informed through the Guide
by the Department of Examinations. The scholar shall make the necessary
revisions and re-submit it within six months from the date of intimation
from the Department of Examinations. Then it shall be sent to the same
referee who had recommended revision. If the referee rejects the thesis /
report is unfavorable even after revision it shall be sent to the third
examiner on the panel. If the third examiners report is favorable the
thesis shall be accepted. If the third examiner suggests revision the same
procedure shall be followed as outlined above. If it is rejected by the third
examiner, the thesis shall be rejected. The scholar shall be considered to
have failed and will be informed accordingly by the Examination
department.

In case both the referees suggest revision, the thesis shall be sent back to
the scholar for revision through the guide. The scholar shall be required to
re-submit the thesis within six months. Thereafter, it shall be sent back to
the same referees. The procedure thereafter regarding accepting and
rejecting the thesis will be as mentioned earlier.

Note: In all of the above cases of revision and re-submission, the scholar will have
to pay complete tuition fee for that term and full examination fees again as per the
prescribed rules.
f)

Conduct of Viva-Voce
When the two external referees accept the thesis, the Viva-Voce shall be held
and the external referee preferably from Maharashtra shall be invited for the
Viva-Voce. In case that referee regrets, the second referee will be invited.
The guide shall be required to be present. The Department of Examinations
will arrange for the same. HOD shall Chair the Open Defense.
The viva voce examination shall be openly defended by the M.Phil. / Ph. D.
scholar.

g) Procedure for Open Defense:

The notice of the Open Defense shall be displayed on the website atleast 8
days prior to the Viva voce by the Department of Examinations. Notice will
also be sent to all Heads of the Departments, Directors of Institutions and
Centres in the university (and to Recognized Institutes in case of Management
faculty). The HOD should inform head of PG centre in concerned subject in
affiliated colleges and external Ph. D. Guides.
HOD (chairperson) will introduce the Guide and the examiner. The scholar will
then make her presentation based on the study. The referee will then conduct
the viva. This will include questions suggested by the second referee. The
result will be prepared by the referee and the guide on the basis of this viva.
Subsequently, the floor will be open for the audience. The question-answer
session will not have any bearing on the result of the scholar. The
Chairperson will conclude the Open Defense session.
h) A Joint report of viva-voce examination:
13

The Referee and the Guide shall prepare a consolidated joint report on the
basis of the written reports of the referees and performance at the Viva-Voce
Examination, and submit the same to the Controller of Examinations
immediately after the viva-voce examination. They shall make a
recommendation for acceptance/non acceptance of the thesis for the award of
the Doctoral Degree.
i)

Result:
The Board of Examinations shall accept the recommendations of the referees.
The result shall be declared by the University, and the notification shall be
sent to the scholar and a copy of the same shall be sent to the Guide
and the HOD only after clearance from the Library regarding submission of
thesis as per requirements of Shodhganga (INFLIBNET).

DEPOSITORY WITH UGC

Following the successful completion of the evaluation process and announcement of
the award of M.Phil./Ph.D., the University shall submit a soft copy of the thesis to the
UGC within a period of thirty days, for hosting the same in INFLIBNET, accessible to
all Institutions/Universities. Along with the Degree, the University shall issue a
provisional certificate certifying to the effect that the Degree has been awarded in
accordance with the provisions to the Regulations of the UGC.

R. (12) Schedule of Fees

Note:
i)

ii)
ii)

Prescribed fees except Examination Fee will be collected by the respective

Institution/Department of the University from 10.30 a.m. to 1.00 p.m. from
Monday to Friday. The department will send the Library fee and deposit
amount to Library and other fees (Enrolment/Eligibility etc.) to respective
sections of the university.
Examination fees will be collected at the Examination Department between
10.30 a.m. to 1.00 p.m. from Monday to Friday.
Fees once paid will not be refunded. Late fees i.e. 20% of the tuition fees
will be charged per month of delayed payment.

14

GUIDELINES FOR DOCTORAL SCHOLARS

1. Ph.D. scholars should carefully go through Ph.D. Guidelines.
2. Ph.D. scholars are advised to:
a. Follow all procedures in all dealings with the University as per the relevant
rules.
b. Be in touch with the guide regularly and keep record of the progress.
c. Adhere to the prescribed academic schedule and submit six-monthly progress
reports to the guide.
d. Apply for extension of terms to the HOD well in advance, with the
recommendation of the Guide.
e. Pay fees regularly by 15th of January and 15th of July every year and preserve
the original fee receipts to be produced along with photocopies while
submitting the synopsis. (First time fees should be paid within 15 days of
receipt of admission letter)
3. If the Ph. D. Scholar wishes to discontinue her studies, she should inform the
same in writing to the HOD/Institute through the Guide.
ADMINISTRATIVE GUIDELINES
1.

The HOD will receive the PhD. Research proposal through the guide, from the
scholar during the third semester after admission. On receiving the proposal
HOD will place it in ensuing DRC.

2.

HOD will organize DRC at least once in every term.

3.

On approval of the DRC, the proposal shall be forwarded to RRC.

4.

Director, BCUD shall issue the letter of approval of the title to the Research
Scholar, (within 30 days) with a copy to the guide and the HOD.

5.

The Ph.D. scholar shall be registered with the University, during which she
shall be required to complete her course work in the first 2 semesters which is
extendable by 2 more semesters.

6.

After completing the course work and within two years of enrolment Ph.D.
scholar may revise and re-submit her final research proposal to the
Departmental Research Committee to be forwarded to RRC.

7.

During her period of Registration, the scholar shall submit six-monthly

progress reports, to the guide.
15

8.

The scholar may apply to the HOD for extension of one term at a time and
maximum 2 terms, recommended by the Guide at least two months before
the end of fifth year. The scholar may be given extension for one year (6th) by
the RRC.

9.

The scholar may apply for additional extension (7 th year), to the HOD for
extension of one term, duly recommended by the Guide at least two months
before the end of 6th year. HOD will forward the application to Director, BCUD
for placing it before the RRC. Extension for the 7th year may be given by the
Vice Chancellor on recommendation of RRC.

10. Before submitting the synopsis, the scholar shall have to make presentation
of the work including findings to DRC. On recommendation of DRC the scholar
will submit the Synopsis to the HOD.
11. Approximately, six months before submitting the thesis the scholar shall
submit to the Controller of Examinations through the Guide and the HOD a
synopsis of the thesis (3 copies for Examination Department, 5 for Director of
BCUD for placing before the RRC and a soft copy to Department, COE and
Director, BCUD). The synopsis should be submitted through the HOD with her
guides recommendation. It should be accompanied by the Examination form,
fees, certificate of completion of course work/exemption. The examination
form will be available at the cash counter of the University office at Pariksha
Bhavan, Juhu or on the university website. HOD will forward 3 copies of
synopsis to the COE and 5 to Director, BCUD.
If the thesis is to be written in a language other than English, five copies of
the synopsis should be submitted in English to Director, BCUD, in addition to
the 8 copies submitted to the Examination Department and BCUD (total
copies 8 in vernacular + 5 in English).
12. Three hard copies and a soft copy (in pdf format) of the thesis shall be
submitted to the Examination Department (duly signed by the Guide) and
forwarded by the HOD (within a period of six months of submission of the
synopsis) or until the registration is valid (whichever is later) not before three
months from the time of submission of the synopsis. However the rules
regarding the extension of the term and the payment of penalty will be
applicable even after the submission of the synopsis.
13. The thesis shall be evaluated by a panel of two referees. On receipt of a
satisfactory evaluation report from the referees, the University shall organize
an open viva-voce at a suitable date. Vice-voce examination for Ph.D.
candidate shall be conducted by the Examination department of the
University.

16

DEPARTMENTAL RESEARCH COMMITTEE

Composition:
Every Postgraduate Department /Recognised Institute shall constitute a
Departmental Research Committee (DRC) comprising of the Head of the University
Department/ Director of the Institute, one senior member of the Department/related
department and at least one subject expert. The HOD may invite additional expert to
the Departmental Research Committee meeting as may be required. When research
proposals are discussed, the research Guides must be present. The HOD/ Director of
the Institute shall be the Chairperson.
Functions of DRC
1. To evaluate the research proposal to determine:
Whether the proposal is academically sound
Whether the proposal is feasible
2. To recommend a Co-Guide, if the proposed study is in interdisciplinary area.
3. To decide whether to accept or reject the proposal or accept it with the
revision after the presentation of the proposal by the candidate
4. To scrutinize the revised /re-submitted proposal.
5. To grant exemption to the candidates from the course work in Research
Methodology.
6. To approve the change in the title of the thesis and recommend it to RRC
7. To forward the application for the change in the title of the thesis to the RRC.

RESEARCH AND RECOGNITION COMMITTEE (RRC)

The Research and Recognition Committee (RRC) for each Board of Studies will consist of:
1)
2)
3)
4)
5)

The Pro-Vice Chancellor

The Dean of the Faculty
The Chairman of the Board of Studies
The Head of the University Departments, if any
Two experts in the subject not below the rank of
Readers, who have successfully guided at least five
Ph.D. Scholars and have published research work
in recognised or reputed national or international
journals, anthologies, etc. one of them being from
outside the University to be nominated by the Vicechancellor

Chairman
Member
Member
Member
Expert Member

17

6)

An expert in the area of specialisation nominated

by the Vice-Chancellor, where a referee is to be
appointed for evaluation of highly specialized topic
or subject.

The nominated members shall attend the meeting only for the particular item.
The Functions of the Research and Recognition Committee:
i.
ii.
iii.
iv.
v.
vi.
vii.

To approve the topic of research

To approve co-guide on request of the Guide
To approve change of Guide/Co-Guide on request of the scholar through the HOD.
To recommend panel of referees for the thesis to the Board of Examination
To recommend names of Post-Graduate teachers and research guides to the BUTR
To advise the Boards of Studies or the faculty on measures to improve courses of
studies at the post-graduate level.
To recommend to the Board, the course structure for Ph.D., Pre Ph.D. and M.Phil.
courses for approval of AC.

Meetings of RRC:
Chairperson shall call a meeting of RRC at least on half yearly basis. After the
submission of synopsis, it should be placed before the ensuing Research and
Recognition Committee to recommend the panel of referees for evaluation of the
thesis.
HEAD OF THE DEPARTMENT (HOD):
Functions and Duties:
1.

To conduct interviews after announcement of Ph. D. Entrance Test (PET)

result.

2.

To ensure that admitted scholars are assigned a Supervisor/Guide as per

availability of seats and area of research interest, adhering to the reservation
policy.

3.

To call for meetings of the DRC (once in each term, if there are candidates)
giving at least 7 clear days of notice and attend to all administrative
responsibilities thereof.

4.

To inform the scholar and the guide accordingly about the DRC meeting.

5.

To forward the proposals recommended by DRC to the Director, BCUD for

placing the same before RRC.

6.

To notify to the Director, BCUD and COE any anomalies and drop out cases.

7.

To maintain a separate file for monitoring the progress of each Ph. D. scholar.

8.

To forward the application of the scholar duly recommended by the Guide and
approved by DRC regarding change in the title to the Director BCUD (to be
placed before RRC).
18

9.

To forward the application of the scholar for change of Guide/Co-Guide with

NOC from the concerned Guide/Co-Guide to the Director, BCUD (to be placed
before the RRC).

10.

To inform the scholar, the change in the title of the thesis, if any, after the
intimation is received to this effect from Director, BCUD.

11.

To conduct a course and assess the scholar in Research Methodology.

12.

To place the application of the scholar for exemption from the course work in
Research Methodology before DRC.

13.

To issue Exemption Certificate for the course work in Research Methodology

on the recommendation of the DRC.

14.

To inform about any cancellation of registration to the Controller of

Examinations and Director, BCUD.

15.

Issue a letter of extension of one term at a time for 4th and 5th years on
receiving such application from a scholar duly recommended by the Guide.

16.

To forward the application of the scholar for the 6th year extension (one term
at a time) duly recommended by the Guide to the Director, BCUD to be placed
before RRC.

17.

To forward the application of the scholar for the 7th year extension (one term
at a time) duly recommended by the Guide and the RRC to be placed before
the Vice Chancellor.

18.

To forward 5 Hard copies and a soft copy of the synopsis to the Director,
BCUD for placing the same before the RRC.

19.

To forward 3 Hard copies and a soft copy of the synopsis along with
Examination form to the Controller of Examination.

Guide:
1. To maintain a separate file (to be maintained in the department) for
monitoring the progress of each scholar. This file should contain application form,
photo copies of fee receipts, proposal, and six monthly progress reports and all
other relevant documents.
2. To monitor the scholars work on a regular basis and endorse the six monthly
progress reports of all scholars to be submitted to the HOD.
3. To Ensure completion of course work by the scholars and evaluation by the
HOD/Guide and ensure issuing of a completion certificate by the HOD.
4. To recommend extension of terms for the 4th to 6th years (one term at a time)
to the HOD (after completion of 3 years) on receiving such application from
the scholar.
19

5. To Recommend to the HOD, in special cases, applications received from

scholars for extension for the final seventh year to be forwarded to the RRC
for approval of the Vice Chancellor.
7.

To recommend to the HOD, within 5 semesters any change in the title of

the proposed thesis on application of the scholar to be placed before DRC for
further approval of the RRC.

8. To recommend any cancellation of

Director, BCUD.

registration to HOD for information of the

Evaluation of Course work

The HOD will arrange for the compulsory test in Research Methodology at the
end of each semester and evaluation of the other course work by the guide.

Certificate of satisfactory completion of the coursework will be issued by the

HOD to the scholar (format enclosed).

Certificate of Exemption of the coursework will be issued by the HOD to the

scholar (format enclosed).

Preservation of Thesis:
COE will forward the accepted thesis (both hard and soft copies) to
a) The university library
b) The concerned Department
c) The Guide
The Librarian will arrange to upload soft copy of the accepted thesis on the
Shodhganga website.

20

DECLARATION
Certified that this dissertation/ thesis is a bonafide record of work done by
Ms. ________________________ during the Period ____________ at the Department of
____________________/Recognized Institute of SNDT Womens University, Mumbai. It is
submitted in partial fulfillment of the requirements for M.Phil. /Ph.D. Degree in
__________________.
Signature ___________________
Guide ______________________
Date: ________________
I declare that the form and content of the above mentioned thesis are original and have not
been submitted, in part or full, for any other degree/ diploma of this or any other University
or Institution.
Signature of scholar ___________________
Date _________________

Guide______________________

Certificates to be submitted
(a)

The original statement of marks of the qualifying examination along with its copy.

(b)

The original certificates of passing the qualifying examination along with its copy.

(c)

The Migration Certificate from the Statutory University from where she is migrating.

(d)

Attested copy of marriage certificate (in case of name change)

21

RECOGNITION OF M.Phil. / Ph.D. GUIDE

The eligibility criteria for recognition of M.Phil/Ph.D guide are as follows:
1. The following faculty members who themselves have a Ph. D. degree and Master
Degree in the same discipline will be treated automatically as Ph. D. Guide.
a.
b.
c.

Professor in University departments (By selection/under CAS)

Associate Professor in University departments (By selection/under CAS)
Librarian of the University with Ph.D. who is also Head of the University
department of Library and Information Science.

2. The following members can apply to the University in prescribed proforma along with
the prescribed fee for recognition as Ph D Guide three years after acquiring Ph.D.
degree in the concerned subject
a.
b.
c.
d.
e.

Principal with Ph.D. who is recognized as a PG Teacher

Three years full time teaching experience at PG level or 10 years full time
teaching experience at Undergraduate level and recognized as PG Teacher
University Deputy Librarians an d College librarians with Ph.D. degree in the
concerned subject with 10 years experience.
Eminent
scholars/Artists who have made path breaking contributions
including construction of knowledge in their respective fields.
A person with Ph.D. degree working at the l e v e l o f s enior research fellow for
a period of 10 years in a reputed national or a regional research institute/
industry

Criteria for granting recognition as Guide

The RRC will consider the following criteria before granting recognition as
M.Phil/Ph.D. guide. In addition to the teaching experience they will be required to
fulfill the following criteria.
a.

At least 5 publications in peer reviewed / refereed journals or books (Edited or

authored other than text books). Waiver may be admissible for any two of
the following-research project with a minimum budget of Rs. 3 lakhs- (1),
Two minor research projects with less than Rs. 3 lakhs budget (1), (research
projects of UGC, ICSSR and other national and international organizations)
Chapters in books with ISBN number (1) or paper published in national/
international Conference proceedings.

b.

Research publications such as Ph.D. thesis or any other dissertation at the

University level shall not be considered as requisite publication for the purpose
of recognition as a guide.

c.

The decision of RRC about the quality of publications to determine their

acceptability will be final.

22

Other guidelines
a. All the guides from the University departments and its institutions where Ph.D.
programmes are initiated will be Internal Guides. After retirement, the
guide automatically becomes an external guide
b. Guides from conducted and affiliated colleges as well as recognized institutions
will be External Guides.
c. Senior research scholars/fellows and eminent scholars will be Invited Guides.
d. Recognized guides of the University departmen ts can guide maximum five M.Phil.
and eight Ph.D. scholars at any given time. The reservation policy will be applicable
as per the Government directives.
e. The external and invited guides shall be entitled to guide maximum two M.Phil/Ph.D.
scholars.
f. The recognized guides of the University can register the scholars for Ph.D. guidance
up to the age of 65 years.
g. The recognized guides may continue to guide Ph.D. scholars upto the age of 70 years.
Rules for Co-Guide System:
1. The Principal Guide shall be from the University Department University
Institution, while the co-guide can be from:
a. The same University Department/University
b. Any other Department of the University.
c. Outside organization.
d. The guide should have no objection for the co-guide.
2. The primary responsibility for proper conduct of research work shall rest with the
principal guide.
3. The Principal guide shall be solely responsible for all the administrative and academic
duties. The academic responsibilities may be shared as mutually decided by the
principal guide and co-guide.
4. Director BCUD shall intimate to the Principal guide and Co-guide about allotment of
scholar along with a soft copy of the Ph.D. rules.
5. The dissertation/thesis when completed shall be certified and duly signed by both
the principal guide and co-guide.
6. At the Viva-Voce Examination, the presence of the co-guide may not be essential.
However, the co-guide must be informed about the Viva-Voce Examination and be
invited to attend.
7. There shall not be more than one co-guide for a Ph.D. research at any given time.
8. The principal guide will be solely responsible for the entire course work of the
scholar.

23

Format of Ph. D. Thesis M. Phil. Dissertation

Title Page : (In capital letters)

TITLE OF THE THESIS /DISSERTATION
NAME OF THE SCHOLAR
NAME OF THE GUIDE
NAME AND ADDRESS OF THE DEPARTMENT
YEAR OF SUBMISSION OF THE THESIS

The title page should be included inside the thesis also. It will not have any page
number.

Declaration of the scholar with the signature of the scholar and the guide (Draft
attached).

Acknowledgement

Contents
Chapters

Page Nos.

Index (if any)

1. Chapter title
1.1 Section

i
1
2

Appendices
List of Tables
List of Graphs
List of Figures
List of abbreviations
Bibliography (inclusive of references in the text)

Thesis / dissertation should be typed with 12 font and 1.5 spacing, Times New
Roman on A4 size white bond paper.

Title page will not have any page number. From the Declaration till the Chapter no. 1
page numbers should be in small roman numbers.

Details of papers published based on the Ph. D. research should be included before
the content page.
24

First chapter will begin with page no. 1

Each chapter will begin on a new page.

The titles of the chapters will be in capital letters.

The titles of the tables, graphs and figures will be in capital letters.

The numbers of the tables, graphs and figures should contain the chapter number
and the number of the table e.g.
TABLE 1.1: TITLE OF THE TABLE

The references must be listed using any acceptable style of bibliography.

Appendices will be included after the bibliography.

Bibliography will be given at the end of the thesis.

A standard format should be followed for the references and the bibliography as it is
prevalent in the respective discipline.

Thesis should be hard bound (and not spiral bound). Embossing on the thesis should
be in gold.

At the side of the bound thesis in gold embossing following will appear:
Degree
Name of the Scholar
Year of submission of the thesis

25